Scott Schaeffer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Schaeffer was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1990 - March 14, 1990
DONALD & CO. SECURITIES INC.
March 20, 1989 - February 20, 1990
MLB INVESTMENTS, LTD.
July 6, 1988 - March 28, 1989
WAINWRIGHT, AUSTIN, STONE & CO.
November 23, 1987 - July 26, 1988
TRI-BRADLEY INVESTMENTS
April 7, 1987 - November 27, 1987
WAINWRIGHT, AUSTIN, STONE & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DONALD & CO. SECURITIES INC.
CRD#: 7776 / SEC#: , 8-20952
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Civil Event | 2 |
| Arbitration | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
